HSM Inspector Checklist

Inspection Checklist Tool for Facilities Generating and Recycling
Hazardous Secondary Materials (HSM)

Version 1.0
January 2012
DISCLAIMER: This checklist is an inspection support tool provided by the U.S. Environmental
Protection Agency (EPA), primarily for use by EPA regions and states, but may also be used by the
regulated community. This checklist is not a regulation and, therefore, does not add, eliminate or
change any existing regulatory requirements. The statements in this document are intended solely as
guidance. This document is not intended, nor can it be relied on, to create any rights enforceable by
any party in litigation with the United States. EPA and State officials may decide to follow the
guidance provided in this document, or to act at variance with the guidance, based on analysis of
specific-site circumstances. This guidance may be revised without public notice to reflect changes
in EPAs policy.
Should any member of the regulated community have any questions concerning the use of this
inspection tool or any questions concerning RCRA, please contact your authorized state office or the
appropriate EPA regional office.
Introduction
The United States Environmental Protection Agency (EPA) Office of Resource Conservation
and Recovery (ORCR), in conjunction with the Office of Enforcement and Compliance Assurance
(OECA), has developed the enclosed pre-inspection and inspection guidance tool to assist EPA and
state waste inspectors in evaluating a generators compliance with RCRA requirements governing
the recycling of hazardous secondary materials (HSM), and/or evaluating compliance with
applicable RCRA regulations by a facility receiving and recycling this material. ORCR and OECA
plan to update and improve this guidance periodically based on feedback and ideas from the
user community.
This guidance tool consists mainly of a series of checklists that address the recycling of
hazardous secondary materials. Some of these checklists address regulations for hazardous
secondary materials such as characteristic sludges and byproducts that were promulgated in the
January 1985 Definition of Solid Waste (DSW) rule (hereafter referred to as the
1985 DSW
rule.) Other checklists address the regulations for recycling hazardous secondary materials such
as listed byproducts and sludges, and spent materials that were promulgated in the October 2008
rule (hereafter referred to as the
2008 DSW rule). Rarely will all of the enclosed checklists
apply to an individual facility. These checklists provide a reference to current federal regulatory
requirements governing the recycling of many wastes. These checklists, and associated
appendices, are built around the federal regulatory program. Note: state regulations may be more
stringent than the federal program.
This guidance tool is designed to help inspectors prepare for a facility inspection
involving the recycling of a hazardous secondary material. This guidance provides the inspector
with questions for facility officials and areas of inquiry when inspectors are gathering
information to assess a facilitys compliance status. For example, in the case of a recyclable
hazardous secondary material and whether the material is excluded from the RCRA definition of
a solid waste under the 2008 rule, the questions in this guidance focus on the regulatory
requirements and whether the facility meets all the conditions of the exclusion.
In some instances, other tools may be necessary to complete the inspection preparation
process. For example, this tool does not include a compliance checklist for the management of
hazardous waste residuals generated from the recycling process that are subject to RCRA
regulation or other wastes at the facility which may be subject to RCRA regulation. Many states
and EPA regions already have inspection checklists for these other areas. In still other instances,
inspectors may require RCRA 3007 information collection requests to gather additional
information in order to fully assess a facilitys compliance with RCRA.
RCRA Definition of Solid Waste Regulatory Program
RCRAs DSW program governs the recycling of hazardous secondary materials. In order
for a hazardous secondary material to be subject to RCRA as a hazardous waste, the material
must first be a solid waste. Whether a material is a solid waste depends on two variables: (1) the
type of secondary material generated by a manufacturing or service industry facility (e.g.,
characteristic byproduct, spent material) and (2) how the material is recycled (e.g., direct use,
1
reclamation). However, even if the material is determined to be a hazardous secondary material

conditionally excluded from the definition of solid waste, both generators and handlers still have
certain regulatory responsibilities. See EPAs Definition of Solid Waste Website for additional
information related to the DSW regulatory program.
Complicating this framework is how the recycled product is used or reused and whether the
recycling process is legitimate. For example, an otherwise excluded material may be a RCRA solid
waste if the recycled product is burned for energy recovery, or used in a manner constituting
disposal. Similarly, a generator or a facility recycling an excluded material may find the material to
be a solid waste if it is speculatively accumulated.
Equally important is whether the material has been recycled legitimately. Through the years,
EPA has issued guidance and regulatory interpretations as to what constitutes legitimate recycling.
The final Revisions to the Definition of Solid Waste rule, promulgated on October 30, 2008, goes
one step further in codifying the legitimacy factors for the secondary materials in that rule. A
discussion of these criteria, as well as the methods for determining legitimacy for materials not
covered by that exclusion, is found in Appendix E.
Organization of the Guidance Tool
There are four major sections to the enclosed tool:
Section 1 is a cover sheet on which the inspector can describe the demographics of the
facility to be visited. It includes such questions as the name and address of the facility and
type of RCRA regulated facility, if appropriate (e.g., conditionally exempt small quantity
generator, small quantity generator, large quantity generator, or exempt or regulated
recycling facility).
Section 2 includes a series of questions to help the inspector better understand facility
operations and determine if the hazardous secondary material (HSM) generated from its
operations is a solid waste or not and if it is being recycled. The answers to these questions
help establish which regulations apply to the management of the material.
Section 3 contains two tables to help the inspector identify the type of HSM generated and
recycled, the quantity of HSM recycled, and whether that recycling takes place on-site or
off-site. The table in Section 3a focuses on generators and the one in Section 3b focuses on
the recycling facility.
Section 4 provides a series of individual checklists for the different types of HSM
being recycled.
o Checklists 14 and 8 include the provisions for the regulations in the original 1985
Definition of Solid Waste rule, which excluded from RCRA regulation certain
hazardous secondary materials when legitimately recycled (e.g., characteristic sludges
and byproducts, and commercial chemical products), while regulating other
hazardous secondary materials when legitimately recycled (e.g., listed byproducts and
2
sludges, and spent materials). For reference, checklists 14 and 8 are labeled as the
1985 DSW Rule.

o Checklists 57 include the provisions from the revisions promulgated in 2008, which
conditionally excluded hazardous secondary materials (e.g., spent materials and listed
byproducts and sludges) when legitimately reclaimed. Checklists 57 are labeled as
the
2008 DSW Rule. Note that the 2008 DSW rule is only effective in states
without RCRA authorized programs and in states that have chosen to adopt the rule.
For each of the individual checklists, the specific conditions necessary for the HSM to be
excluded from the definition of solid waste are identified, along with the specific federal
regulatory citation. Regulatory citations can be found in Title 40 of the Code of Federal
Regulations (CFR), unless otherwise specified.1 In several instances, appendices are cited to
help describe and support a particular regulatory citation. These are found in the back of
the document.
How to Use This Guidance Tool
This guidance tool is designed for inspectors who inspect facilities that recycle hazardous
secondary materials (e.g., generators of HSM and facilities that receive and process/recycle HSM).
How you use this tool will most likely vary based on your experience and familiarity with the
definition of solid waste regulatory program. Experienced inspectors may use this tool as a simple
reference document or a pre-inspection guidance tool to recall particular pieces of information they
may need prior to actually inspecting the facility, including specific regulatory components that are
necessary for the facility to be in compliance with the definition of solid waste regulations. Other
inspectors, particularly new inspectors, may use this guidance tool and associated checklists to
collect and record information and observations made during inspections. Information and
observations contained in a completed checklist will help the inspector write a comprehensive
inspection report and make it easier for compliance determinations to be made.
Notification data from the Revisions to the Definition of Solid Waste final rule will also assist
with pre-planning efforts. Under the 2008 rule, facilities managing hazardous secondary materials
under 40 CFR 261.2(a)(2)(ii), 261.4(a)(23), (24), and (25) must notify their regulatory authorities
prior to managing materials under the rule and every other year thereafter using the RCRA
Subtitle C Site Identification form (
Site ID form). The notification includes information such as
facility type (e.g., reclaimer, generator, intermediate facility), type and quantity of hazardous
secondary materials managed, and whether the facility is managing the materials in a land-based
unit. This information provides basic information about the facility that can be used when assessing
compliance with the DSW rule.
Note: We did not develop checklists for hazardous secondary materials addressed under 40 CFR 261.6, such as lead
acid batteries, precious metals, etc.
To find this information:

Log into RCRAInfo and click on
Handler under
National and Implementer Reports.
Scroll down the page to see the list of
Hazardous Secondary Material reports.
A particularly helpful report is the
List of Facilities that are Managing HSM. This report will
bring up a snapshot of information regarding all facilities that fit your selection criteria.
Note: The facility code on this report will help you to determine which
tear-out checklist
applies to the facility you will be inspecting. For example, a facility listing a facility code of
01 or
HSM generator reclaiming HSM onsite means you would need to use the checklist
found in Section 8. Facility codes are used by a facility to identify their facility type on the
Site ID form; you can find specific facility codes by using the lookup table found on the second
page of the report.
Whether a new or experienced inspector, a key inquiry is to determine the type(s) of
hazardous secondary materials that are generated and/or recycled. A review of available information
gathered during the pre-inspection phase will help answer that question. The inspector will be able to
use a particular checklist(s) for that hazardous secondary material. Most of the checklists are one or
two pages that can be easily printed out prior to the inspection.
Each checklist has four columns: the specific federal regulatory citation; a description of that
citation, a comment field to record thoughts or observations, and a yes/no check box. In designing
the yes/no boxes, we have put the answer that would indicate that the facility is in compliance with
the specific requirement in bold and shaded, where applicable. This should result the inspectors
ability to review a page of the checklist at a glance to determine if follow-up is needed. We have also
included a Bottom Line section at the end of each checklist for inspector notes.
As stated above, we view this document as evolving over time as it is used by more
inspectors. After using it, please let us know what worked and what did not, and whether we could
make improvements that would make a difference to you and your counterparts in the regions and
states. You can send your comments to Jim OLeary at oleary.jim@epa.gov and Kathy Lett at
lett.kathy@epa.gov.
Table of Contents
Section 1:
Section 2:
Section 3a:
Section 3b:
Section 4:
Facility Information
Overview of Manufacturing Process and HSM Characterization
Identification and Quantification of HSMs being Generated and Recycled
(Generators Only)
Identification and Quantification of HSMs being Consolidated and/or Recycled
(Intermediate and Recycling Facilities Only)
Definition of Solid Waste Checklists 18
Checklist 1
Checklist 2
Checklist 3
Checklist 4
Checklist 5
Checklist 6
Checklist 7
Checklist 8
Characteristic Sludges and/or Byproducts being Recycled (261.2(c)(3))

(1985 DSW Rule)
Commercial Chemical Products being Recycled (261.33) (1985 DSW Rule)
Recycling of Scrap Metal that is Not Excluded Under 261.4(a)(13)
(1985 DSW Rule)
Materials Recycled through Use or Reuse (261.2(e)(1)) (1985 DSW Rule)
Hazardous Secondary Materials (e.g., listed byproducts and sludges
and spent materials) Generated and Recycled Under the Control of the
Generator (261.2(a)(2)(ii) and 261.4(a)(23)) (2008 DSW Rule)
Recycling of Hazardous Secondary Materials (e.g., listed byproducts and
sludges and spent materials) Sent Off-site by a Generator Directly or Via an
Intermediate or Partial Reclamation Facility (Transfer-based Exclusion
Generator Conditions) (261.4(a)(24)(25)) (2008 DSW Rule)
Recycling of Hazardous Secondary Materials (e.g., listed byproducts and
sludges and spent materials) Sent Off-site by a Generator Directly or Via an
Intermediate or Partial Reclamation Facility (Transfer-based Exclusion
Reclaimer/Intermediate Conditions) (261.4(a)(24)) (2008 DSW Rule)
Facilities Generating and/or Reclaiming Hazardous Secondary Materials (e.g.,
listed byproducts and sludges and spent materials) under RCRA Subtitle C
(1985 DSW Rule)
References:
Appendix A: Specific Exclusions from the Definition of Solid Waste at 261.4(a)
Appendix B: Discussion of Containment From 2008 DSW Rule Preamble (73 FR 64680,
October 30, 2008)
Appendix C: Definitions at 260.10 for Purposes of October 30, 2008, DSW Rule
Appendix D: Definition of Speculative Accumulation at 261.1(c)(8)
Appendix E: Legitimate Recycling
Appendix F: Use/Reuse at 261.2(e)(1)
Appendix G: Notification Requirements at 260.42
Appendix H: Reasonable Efforts Condition at 261.4(a)(24)(v)(B)
Appendix I: Certification Statement at 261.4(a)(24)(v)(C)
Appendix J: Exports of HSM at 261.4(a)(25)
Section 1: Facility Information

Company Name: _________________________________________________________
USEPA ID Number _______________________________________________________
Facility Type:
CESQG ______
SQG _______
LQG _______
Intermediate _____ Partial Reclamation ______
Commercial Recycling _____
NAICS Code(s) _________________________________________________________

Company Product and Services _____________________________________________
_______________________________________________________________________
Dates of Recent Inspections: ________________________________________________
Do any concerns or violations with recent inspections exist? If so, please attach comments.
Location Address:
Street: ____________________________________________________________
City: ___________________________ State: _______________ Zip: ________
Mailing Address:
Street: ____________________________________________________________
City: ___________________________ State: _______________ Zip: ________
Contact Person:
Telephone Number:
Fax Number:
Email Address:
__________________________
__________________________
__________________________
__________________________
Inspection Date:
_____________________
Time: From ______ To ______
Lead Inspector:
______________________
Telephone No. __________________
Other People Present (Name, Title, Organization)
Telephone Number
Section 2: Overview of Manufacturing Process and HSM Characterization

1. Describe the generators manufacturing/production operations, and identify all of the waste
streams (non-product streams) generated from these operations (use extra sheet if needed). If there
are multiple production processes or a single complicated production process, process flow diagrams
or other diagrams should be obtained to help describe and understand the process to ensure that all
production waste streams are identified. (Intermittently generated streams from equipment cleanout
will not likely be identified in the diagrams):
Is the information you have and the generators explanation of its process sufficient for you to
clearly understand the facilitys operations and identify what hazardous secondary materials are
being generated and recycled?
Y N
If YES
If NO
Go to Question 2
List follow-up questions to ask:
2. Are any of the waste streams listed in Question 1 hazardous secondary materials?
If YES
If NO
Go to Question 3
STOP. RCRA Subtitle C does not apply
Y N
3. Are the hazardous secondary materials being generated and subsequently

recycled on site or shipped off site for recycling?
If YES
Y N
Go to Question 4 and proceed with this checklist.
If NO
STOP. This facility is not recycling a hazardous secondary material and
this checklist is not needed. RCRA Subtitle C waste(s) are being generated.
4. For each hazardous secondary material being recycled, what analytical process did the generator
use to characterize the hazardous secondary material?
Used knowledge of the manufacturing process and secondary material?
Y N
Made a determination through proper sampling and analysis of the secondary material?
Y N
Briefly describe the sampling protocol used:
To the best of your knowledge, is the generators characterization of its

hazardous secondary material correct?
Y N
4a. Is the facilitys HSM being recycled specifically excluded from the definition of solid waste under
Y N
261.4(a)(1)(22)? (See Appendix A for a list of exclusions.)
If YES
STOP. These checklists are not applicable. Review the description of

the specific exclusion to determine what conditions must be
met in order for the HSM to be excluded under DSW.
If NO
This checklist is applicable for these materials. When you

have completed Question 4 for all hazardous secondary
materials being recycled, proceed to Section 3a.
Section 3a. Identification and Quantification of HSMs being Generated and Recycled
(Generator Facilities Only)
List HSM that are generated and recycled?
Type of HSMs
Characteristic
Byproducts or
Sludges
Commercial
Chemical Products
Scrap metal (other
than excluded scrap
metal)
(See 261.1(c)(9))
Spent Materials
Listed Byproducts
or Sludges
RCRA Waste
Code(s)
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
Quantity Generated
and Recycled (tons)
for Each Waste
Code
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
Is Recycling
Occurring
On-Site or OffSite?
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
If Off-Site,
Identify the
Type Using
Codes Below
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
1Off-site facility under the control of the generator

2Off-site recycling occurring under a tolling agreement
3Off-site intermediate/consolidation facility followed by recycling at commercial recycling facility
4Off-site partial reclamation facility2 followed by recycling at commercial recycling facility
5Commercial recycling facility
6Other (please identify)
Note: Please attach additional sheets if insufficient space exists to complete Table 3a.
A partial reclamation facility accepts hazardous secondary metal-bearing materials containing recoverable amounts of
copper, chromium, and nickel that they, in turn, de-water and consolidate to produce commodity-like materials that they
sell to primary mineral processing facilities for final reclamation.
Section 3b. Identification and Quantification of HSMs being Consolidated and/or

Recycled
(Intermediate and Recycling Facilities Only)
Type of HSMs
Characteristic Byproducts or
Sludges
Commercial Chemical
Products
Scrap metal (other than
excluded scrap metal)
(See 261.1(c)(9))
Spent Materials
Listed Byproducts or Sludges
RCRA Waste
Code(s)
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
______
Quantity Consolidated and/or

Recycled (tons) for Each
Waste Code
____________
____________
____________
____________
____________
____________
____________
____________
____________
____________
____________
____________
____________
____________
____________
____________
____________
____________
____________
____________
Note: Please attach additional sheets if insufficient space exists to complete Table 3b.
10
Section 4: Definition of Solid Waste Checklists 18

Checklist 1: Characteristic Sludges and/or Byproducts being Recycled (261.2(c)(3)) (1985 DSW Rule)
Regulatory
Citation
Note: These materials are not solid wastes provided certain conditions are met
Condition of Exclusion
261.2(c)(1) Are these materials used in a manner constituting disposal or, once reclaimed, used in a
(i)(A)&(B)
manner constituting disposal?
(A) Applied to or placed on the land in a manner that constitutes disposal or (B) used to produce
products that are applied to or placed on the land or are otherwise contained in products that are
applied to or placed on the land (in which cases the product itself remains a solid waste)?
If yes, then the HSM are solid wastes. Go to 261.6(a)(2)(i) and Part 266, subpart C.
261.2(c)(2) Are these materials (A) burned for energy recovery or (B) used to produce a fuel or
(i)(A)&(B)
otherwise contained in fuels (in which case the fuel itself remains a solid waste), or
Once reclaimed, (A) burned for energy recovery; or (B) used to produce a fuel or otherwise
contained in fuels (in which case the fuel itself remains a solid waste)?
If yes, then the HSM are solid wastes. Go to 261.6(a)(2)(ii) and Part 266, subpart H.
261.2(a)(2) Are the HSM being released into the environment?
Comments
261.1(c)(8) Does the generator maintain records on the volume of recyclable materials generated per
month and the volume recycled per month?
Is the hazardous secondary material speculatively accumulated, as defined in 261.1(c)(8)? See
Appendix D.
Legitimate
Is the recycling/reclamation of the characteristic sludges and byproducts legitimate? See
Recycling
Appendix E.
262.11
Are any residuals generated from the recycling process?
Are they characterized correctly?
If hazardous wastes, are the materials managed in a manner consistent with all applicable RCRA
regulations?
Comments:
Bottom Line: Does the facility meet all of the conditions for characteristic sludges or byproducts being recycled at 261.2(c)(3)?
11
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Checklist 2: Commercial Chemical Products being Recycled (261.33) (1985 DSW Rule)
Regulatory
Citation
Note: These materials are not solid wastes provided certain conditions are met
(i)(A)&(B)
(A) Applied to or placed on the land in a manner that constitutes disposal; or (B) used to
produce products that are applied to or placed on the land or are otherwise contained in products
that are applied to or placed on the land (in which case the product itself remains a solid waste)?
However, commercial chemical products listed in 261.33 are not solid wastes if they are
applied to the land and that is their ordinary manner of use
(i)(A)&(B)
However, commercial chemical products listed in 261.33 are not solid wastes if they are
themselves fuels.
Legitimate
Recycling
262.11
Comments
Y N
Y N
Y N
Is the recycling/reclamation of the commercial chemical products legitimate? See Appendix E.
Y N

If hazardous wastes, are the materials managed in a manner consistent with all applicable
RCRA regulations?
Y N
Y N
Comments:
Bottom Line: Does the facility meet all of the conditions at 261.33 for commercial chemical products being recycled?
12
Y N
Checklist 3: Recycling of Scrap Metal that is Not Excluded Under 261.4(a)(13) (1985 DSW Rule)
Regulatory
Citation
(i)(A)&(B)
(A) Applied to or placed on the land in a manner that constitutes disposal; or (B) used to
produce products that are applied to or placed on the land or are otherwise contained in products
that are applied to or placed on the land (in which case the product itself remains a solid waste)?
(i)(A)&(B)
Comments
261.1(c)(8) Does the generator maintain records on the volume of recyclable materials generated per
Appendix D.
Legitimate
Is the recycling/reclamation of the scrap metal legitimate? See Appendix E.
Recycling
262.11
RCRA regulations?
Comments:
Bottom Line: Does the facility meet the regulatory requirements at 261.4(a)(13) for the recycling of scrap metal that is not excluded?
13
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Checklist 4: Materials Recycled through Use or Reuse (261.2(e)(1)) (1985 DSW Rule)
Regulatory
Citation
Note: These materials are not solid waste when recycled.
261.2(c)(1) Are these materials used in a manner constituting disposal?

(i)(A)&(B)
(A) Applied to or placed on the land in a manner that constitutes disposal; or (B) used to produce
applied to or placed on the land (in which case the product itself remains a solid waste)?
261.2(c)(2) Are these materials (A) burned for energy recovery or (B) used to produce a fuel or otherwise
(i)(A)&(B)
261.1(c)(8) Does the generator maintain records on the volume of recyclable materials generated per month
and the volume recycled per month?
Appendix D.
Legitimate
Is the recycling of the HSM legitimate, as described in 260.43? See Appendix E.
Recycling
262.11
RCRA regulations?
Comments:
Bottom Line: Does the facility meet the regulatory requirements at 261.2(e) for HSM recycled through use/reuse?
14
Comments
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Checklist 5: Hazardous Secondary Materials (e.g., listed byproducts and sludges and spent materials) Generated and Recycled
Under the Control of the Generator (261.2(a)(2)(ii) and 261.4(a)(23)) (2008 DSW Rule)
Regulatory
Citation
261.2(c)(1) Are these materials used in a manner constituting disposal or once reclaimed, used in a
(i)(A)&(B)
(i)(A)&(B)
261.2(a)(2) Is the HSM contained in units that control any movement of the hazardous secondary material
(ii)/261.4(a out of the unit? See Appendix B.
)(23)(i)
261.2(a)(2) Is the HSM generated and reclaimed under the control of the generator, as defined in
(ii)/261.4(a 260.10?
)(23)(ii)
Does the generator have signed certifications, as applicable? See Appendix C.
261.2(a)(2) Does the generator maintain records on the volume of recyclable materials generated per
(ii)/261.4(a month and the volume recycled per month?
)(23)(iii)
Appendix D.
261.2(a)(2) Is the HSM subject to material-specific management conditions under paragraph (a) of this
(ii)/261.4(a section when reclaimed?
)(23)(iv)
Is the HSM a spent lead acid battery (see 266.80 and 273.2)?
Does the HSM meet the listing description of K171 and K172 in 261.32?
261.2(a)(2) Is the reclamation of the HSM legitimate, as specified in 260.43? See Appendix E.
(ii)/261.4(a
)(23)(v)
261.2(a)(2) Has the facility notified/re-notified their authorized state or EPA Region that they are taking
(ii)/261.4(a advantage of this exclusion as required by 260.42? See Appendix G.
)(23)(vi)
15
Comments
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Checklist 5: Hazardous Secondary Materials (e.g., listed byproducts and sludges and spent materials) Generated and Recycled
Under the Control of the Generator (261.2(a)(2)(ii) and 261.4(a)(23)) (2008 DSW Rule)
262.11
Y N
Y N
If hazardous wastes, are the materials managed in a manner consistent with all applicable RCRA
regulations?
Y N
260.10
Is the generator using a tolling agreement to recycle his HSM?
Y N
If so, does a written contract exist between the tolling contractor and tolling manufacturer,
including reclamation of HSM by the tolling contractor that was generated by the tolling
manufacturer as specified in 260.10?
Y N
Note: When generated and recycled under the control of the generator, hazardous secondary materials managed only in non-land-based units are
subject to the exclusion at 261.2(a)(2)(ii), whereas hazardous secondary materials that are managed in land-based units during the recycling
process are subject to the exclusion at 261.4(a)(23).
Comments:
Bottom Line: Does the facility meet all of the conditions for the exclusion at 261.2(a)(2)(ii) or 261.4(a)(23)?
16
Checklist 6: Recycling of Hazardous Secondary Materials (e.g., listed byproducts and sludges and spent materials) Sent Off-site
by a Generator Directly or Via an Intermediate or Partial Reclamation Facility (261.4(a)(24)(25)) (2008 DSW Rule)
Regulatory
Citation
(Transfer-based ExclusionGenerator Conditions)

(i)(A)&(B)
(i)(A)&(B)
261.4(a)
Does the generator maintain records on the volume of recyclable materials generated per
(24)(i)
Appendix D.
261.4(a)
Is the HSM handled by any person or facility other than the hazardous secondary material
(24)(ii)
generator, the transporter, an intermediate facility or a reclaimer?
While in transport, is the HSM stored for more than 10 days at a transfer facility, as defined in
260.10?
Is the HSM packaged according to applicable Department of Transportation regulations at 49
CFR parts 173, 178, and 179 while in transport?
261.4(a)
Is the HSM subject to material-specific management conditions under paragraph (a) of this
(24)(iii)
section when reclaimed?
261.4(a)
Is the reclamation of the HSM legitimate, as specified in 260.43? See Appendix E.
(24)(iv)
261.4(a)
Is the HSM contained in units that control any movement of the hazardous secondary material
(24)(v)(A)
out of the unit? See Appendix B.
17
Comments
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
261.4(a)
(24)(v)(B)
261.4(a)
(24)(v)(C)

Prior to arranging for transport of HSM to a reclamation facility (or facilities) where the
management of the HSM is not addressed under a RCRA Part B permit or interim status
standards, did the HSM generator make reasonable efforts to ensure that each reclaimer intends
to properly and legitimately reclaim the HSM and not discard it, and that each reclaimer will
manage the HSM in a manner that is protective of human health and the environment? See
Appendix H.
Does the HSM pass through an intermediate facility where the management of the HSMs is not
addressed under a RCRA Part B permit or interim status standards?
If so,
(a) did the HSM generator make contractual arrangements with the intermediate facility to
ensure that the HSM is sent to the reclamation facility identified by the HSM generator?
(b) did the HSM generator perform reasonable efforts to ensure that the intermediate facility will
manage the HSM in a manner that is protective of human health and the environment?
Did the HSM generator repeat the reasonable efforts at a minimum of every three years so that
the generator can claim the exclusion and continue to send the HSM to each reclaimer and any
intermediate facility?
Was the evidence used to conduct reasonable efforts credible? List sources, if known.
Did the HSM generator affirmatively answer all questions found in Appendix H for each
reclamation facility and any intermediate facility?
Does the HSM generator maintain for a minimum of three (3) years documentation and
certification that reasonable efforts were made for each reclamation facility and, if applicable,
intermediate facility where the management of the hazardous secondary materials is not
addressed under a RCRA Part B permit or interim status standards prior to transferring
hazardous secondary material? See Appendix I.
Were documentation and certification made available upon request by a regulatory authority
within 72 hours after the request, or within a longer period of time as specified by the
regulatory authority?
18
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
261.4(a)
(24)(v)(D)
261.4(a)
(24)(v)(E)
261.4(a)
(25)

Does the HSM generator maintain records of all off-site shipments of hazardous secondary
materials at the generating facility for no less than three (3) years?
For each shipment, did these records, at a minimum, contain the following information?
(1) Name of the transporter and date of the shipment?
(2) Name and address of each reclaimer and, if applicable, the name and address of each
intermediate facility to which the hazardous secondary material was sent?
(3) The type and quantity of hazardous secondary material in the shipment?
Does the HSM generator maintain at the generating facility for no less than three (3) years
confirmations of receipt from each reclaimer and, if applicable, each intermediate facility for
all off-site shipments of hazardous secondary materials?
Do confirmations of receipt include the name and address of the reclaimer (or intermediate
facility), the type and quantity of the hazardous secondary materials received and the date which
the hazardous secondary materials were received?
How was this requirement satisfied (e.g., financial records, bills of lading, copies of DOT
shipping papers, or electronic confirmations of receipt)?
Does the HSM generator export from the United States and reclaim the HSM at a reclamation
facility located in a foreign country?
If so, did the HSM generator comply with the applicable requirements of paragraph (a)(24)(i)
(v) of this section (excepting paragraph (a)(v)(B)(2) of this section for foreign reclaimers and
foreign intermediate facilities), and did the HSM generator also comply with the notification,
recordkeeping, and reporting requirements in 261.4(a)(25)? See Appendix J.
Comments:
Bottom Line: Does the facility meet all of the conditions for the exclusion at 261.4(a)(24) and/or 261.4(a)(25)?
19
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Checklist 7. Recycling of Hazardous Secondary Materials (e.g., listed byproducts and sludges and spent materials) Sent Off-Site
by a Generator Directly or Via an Intermediate or Partial Reclamation Facility (261.4(a)(24)) (2008 DSW Rule)
Regulatory
Citation
(Transfer-based ExclusionReclaimer/Intermediate Conditions)

(i)(A)&(B)
(i)(A)&(B)
261.4(a)
Does the reclaimer or intermediate facility maintain records on the volume of recyclable
(24)(i)
materials generated per month and the volume recycled per month?
Appendix D.
261.4(a)
Is the HSM subject to material-specific management conditions under paragraph (a) of this
(24)(iii)
section when reclaimed?
261.4(a)
Is the reclamation of the HSM legitimate, as specified in 260.43? See Appendix E.
(24)(iv)
20
Comments
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
261.4(a)
(24)(vi)(A)
261.4(a)
(24)(vi)(B)
261.4(a)
(24)(vi)(C)
261.4(a)
(24)(vi)(D)
261.4(a)
(24)(vi)(E)
261.4(a)
(24)(vi)(F)

Does the reclaimer and/or intermediate facility maintain records at its facility of all shipments
of HSM that were received at the facility and, if applicable, for all shipments of HSMs that were
received and subsequently sent off-site from the facility for further reclamation for no less than
three (3) years?
For each shipment, do these records, at a minimum, contain the following information?
(1) Name of the transporter and date of the shipment?
(2) Name and address of the HSM generator and, if applicable, the name and address of the
reclaimer or intermediate facility which the HSMs were received from?
(3) The type and quantity of HSM in the shipment? and
(4) For HSMs that, after being received by the reclaimer or intermediate facility, were
subsequently transferred off-site for further reclamation, the name and address of the
(subsequent) reclaimer and, if applicable, the name and address of each intermediate facility to
which the HSM was sent?
If appropriate, did the intermediate facility send the HSM to the reclaimer(s) designated by the
HSMs generator?
Did the reclaimer and intermediate facility send confirmations of receipt to the HSM generator
for all off-site shipments of HSM?
Did confirmations of receipt include the name and address of the reclaimer (or intermediate
facility), the type and quantity of the hazardous secondary materials received and the date which
the hazardous secondary materials were received?
Did the reclaimer and intermediate facility manage the HSM in a manner that is at least as
protective as that employed for analogous raw material and was the HSM contained? See
Appendix B.
Are any residuals generated from reclamation processes?
RCRA regulations?
Does the reclaimer and intermediate facility have financial assurance as required under Part
261, subpart H?
Do the financial assurance amounts satisfy Subpart H requirements?
Is the process used by the facility to calculate financial assurance adequate?
21
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
Y N
261.4(a)
(24)(vii)

Did the reclaimer and intermediate facility provide notification as required under 260.42? See
Appendix G.
Comments:
Bottom Line: Does the facility meet all of the conditions for the exclusion at 261.4(a)(24)?
22
Y N
Checklist 8. Facilities Generating and/or Reclaiming Hazardous Secondary Materials (e.g., listed byproducts and sludges and
spent materials) under RCRA Subtitle C (1985 DSW Rule No Applicable Exclusions)
Regulatory
Citation
Regulatory Requirement
261.2(c)(1) Are these materials being used in a manner constituting disposal or, once reclaimed, used in a
(i)(A)&(B)
(i)(A)&(B)
261.6(a)(2) Are these materials recyclable materials from which precious metals are reclaimed or spent
(iii) and (iv) lead-acid batteries being reclaimed?
If yes, go to 266 subpart F or 266 subpart G for the applicable standards.
Parts 262,
Are the hazardous secondary materials being recycled on-site?
264, 265
If so, prior to entering the on-site reclamation unit, are the hazardous secondary materials in
and 270
compliance with all applicable RCRA hazardous waste generator regulations found at Part 262
and, if the materials are stored in permitted units prior to entering the reclamation unit,
Parts 264, 265 (interim status facilities) and 270?
Legitimate
Recycling
Note: Some regions and states already have compliance lists available for these parts of the
RCRA regulations. (If yours does not, go to the Electronic Code of Federal Regulations (E-CFR)
for the applicable regulations.)
Is any reclamation of the listed byproducts, sludges, or spent materials legitimate? See
Appendix E.
23
Comments
Y N
Y N
Y N
Y N
Y N
Y N
Checklist 8. Facilities Generating and/or Reclaiming Hazardous Secondary Materials (e.g., listed byproducts and sludges and
spent materials) under RCRA Subtitle C (1985 DSW Rule No Applicable Exclusions)
Part 262
Are the hazardous secondary materials being recycled off-site?
Y N
If so, prior to sending off-site, are the hazardous secondary materials in compliance with all
applicable RCRA hazardous waste generator regulations found in Part 262?
Y N
Part 263
Are the hazardous secondary materials in compliance with the transportation regulations in
Part 263?
Y N
Note: Some regions and states have compliance lists available for these parts of the RCRA
regulations. (If yours does not, go to the Electronic Code of Federal Regulations (E-CFR) for the
applicable regulations.)
261.6(c)(2) For materials recycled off-site, are the hazardous secondary materials stored prior to entering
the reclamation process (See 261.6(c)(2))?
Y N
If no, a RCRA Part B storage permit is not required.
Therefore, is the facility in compliance with:
- Notification requirements under section 3010 of RCRA?
Y N
- Use of the manifest at 265.71?
Y N
- Manifest discrepancies at 265.72?
Y N
- The air emission standards at Part 264 subparts AA and BB or Part 265 subparts AA
and BB?
Y N
If yes, a Part B permit is required.
Parts
Therefore, is the recycling facility in compliance with all applicable regulations under
261.6, 264,
261.6, Part 264, Part 268, Part 270, and Part 124?
270 and 124 If the unit/facility is under interim status, is the recycling facility in compliance with all
Y N
applicable regulations under 261.6, Part 265, Part 268, Part 270, and Part 124?
Parts
Note: Some regions and states already have compliance lists available for these parts of the
261.6, 265,
RCRA regulations. (If yours does not, go to the Electronic Code of Federal Regulations (E-CFR)
270 and 124 for the applicable regulations.)
Y N
262.11
Are any residuals generated from reclamation processes?
Y N
Y N
RCRA regulations?
Y N
Comments:
Bottom Line: Does the facility meet all the requirements for generating and/or reclaiming hazardous secondary materials under Subtitle C?
24
Appendix A
Specific Exclusions from the Definition of Solid Waste at 261.4(a)
(1)(i) Domestic sewage and
(ii) any mixture of domestic sewage and other wastes that passes through a sewer system to a
publicly-owned treatment works for treatment. D
omestic sewage means untreated sanitary wastes
that pass through a sewer system.
(2) Industrial wastewater discharges that are point source discharges subject to regulation under
section 402 of the Clean Water Act, as amended.
(3) Irrigation return flows.
(4) Source, special nuclear or by-product material as defined by the Atomic Energy Act of 1954,
as amended, 42 U.S.C. 2011 et seq.
(5) Materials subjected to in-situ mining techniques which are not removed from the ground as
part of the extraction process.
(6) Pulping liquors ( i.e., black liquor) that are reclaimed in a pulping liquor recovery furnace
and then reused in the pulping process, unless it is accumulated speculatively as defined in
261.1(c) of this chapter.
(7) Spent sulfuric acid used to produce virgin sulfuric acid, unless it is accumulated speculatively
as defined in 261.1(c) of this chapter.
(8) Secondary materials that are reclaimed and returned to the original process or processes in
which they were generated where they are reused in the production process provided:
(i) Only tank storage is involved, and the entire process through completion of reclamation is closed
by being entirely connected with pipes or other comparable enclosed means of conveyance;
(ii) Reclamation does not involve controlled flame combustion (such as occurs in boilers, industrial
furnaces, or incinerators);
(iii) The secondary materials are never accumulated in such tanks for over twelve months without
being reclaimed; and
(iv) The reclaimed material is not used to produce a fuel, or used to produce products that are used in
a manner constituting disposal.
(9)(i) Spent wood preserving solutions that have been reclaimed and are reused for their
original intended purpose; (ii) Wastewaters from the wood preserving process that have been
reclaimed and are reused to treat wood.
25
(iii) Prior to reuse, the wood preserving wastewaters and spent wood preserving solutions described
in paragraphs (a)(9)(i) and (a)(9)(ii) of this section, so long as they meet all of the following
conditions:
(A) The wood preserving wastewaters and spent wood preserving solutions are reused on-site at
water borne plants in the production process for their original intended purpose;
(B) Prior to reuse, the wastewaters and spent wood preserving solutions are managed to prevent
release to either land or groundwater or both;
(C) Any unit used to manage wastewaters and/or spent wood preserving solutions prior to reuse can
be visually or otherwise determined to prevent such releases;
(D) Any drip pad used to manage the wastewaters and/or spent wood preserving solutions prior to
reuse complies with the standards in part 265, subpart W of this chapter, regardless of whether the
plant generates a total of less than 100 kg/month of hazardous waste; and
(E) Prior to operating pursuant to this exclusion, the plant owner or operator prepares a one-time
notification stating that the plant intends to claim the exclusion, giving the date on which the plant
intends to begin operating under the exclusion, and containing the following language:
I have read
the applicable regulation establishing an exclusion for wood preserving wastewaters and spent wood
preserving solutions and understand it requires me to comply at all times with the conditions set out
in the regulation. The plant must maintain a copy of that document in its on-site records until
closure of the facility. The exclusion applies so long as the plant meets all of the conditions. If the
plant goes out of compliance with any condition, it may apply to the appropriate Regional
Administrator or state Director for reinstatement. The Regional Administrator or state Director may
reinstate the exclusion upon finding that the plant has returned to compliance with all conditions and
that the violations are not likely to recur.
(10) EPA Hazardous Waste Nos. K060, K087, K141, K142, K143, K144, K145, K147, and
K148, and any wastes from the coke by-products processes that are hazardous only because
they exhibit the Toxicity Characteristic (TC) specified in section 261.24 of this part when,
subsequent to generation, these materials are recycled to coke ovens, to the tar recovery process as a
feedstock to produce coal tar, or mixed with coal tar prior to the tar's sale or refining. This exclusion
is conditioned on there being no land disposal of the wastes from the point they are generated to the
point they are recycled to coke ovens or tar recovery or refining processes, or mixed with coal tar.
(11) Nonwastewater splash condenser dross residue from the treatment of K061 in high
temperature metals recovery units, provided it is shipped in drums (if shipped) and not land disposed
before recovery.
(12) (i) Oil-bearing hazardous secondary materials (i.e., sludges, byproducts, or spent
materials) that are generated at a petroleum refinery (SIC code 2911) and are inserted into the
petroleum refining process (SIC code 2911including, but not limited to, distillation, catalytic
cracking, fractionation, or thermal cracking units (i.e., cokers)) unless the material is placed on
the land, or speculatively accumulated before being so recycled. Materials inserted into thermal
26
cracking units are excluded under this paragraph, provided that the coke product also does not
exhibit a characteristic of hazardous waste. Oil-bearing hazardous secondary materials may be
inserted into the same petroleum refinery where they are generated, or sent directly to another
petroleum refinery, and still be excluded under this provision. Except as provided in paragraph
(a)(12)(ii) of this section, oil-bearing hazardous secondary materials generated elsewhere in the
petroleum industry (i.e., from sources other than petroleum refineries) are not excluded under this
section. Residuals generated from processing or recycling materials excluded under this paragraph
(a)(12)(i), where such materials as generated would have otherwise met a listing under subpart D of
this part, are designated as F037 listed wastes when disposed of or intended for disposal.
(ii) Recovered oil that is recycled in the same manner and with the same conditions as
described in paragraph (a)(12)(i) of this section. Recovered oil is oil that has been reclaimed
from secondary materials (including wastewater) generated from normal petroleum industry
practices, including refining, exploration and production, bulk storage, and transportation
incident thereto (SIC codes 1311, 1321, 1381, 1382, 1389, 2911, 4612, 4613, 4922, 4923, 4789,
5171, and 5172.) Recovered oil does not include oil-bearing hazardous wastes listed in subpart D of
this part; however, oil recovered from such wastes may be considered recovered oil. Recovered oil
does not include used oil as defined in 40 CFR 279.1.
(13) Excluded scrap metal (processed scrap metal, unprocessed home scrap metal, and unprocessed
prompt scrap metal) being recycled.
(14) Shredded circuit boards being recycled provided that they are:
(i) Stored in containers sufficient to prevent a release to the environment prior to recovery; and
(ii) Free of mercury switches, mercury relays and nickel-cadmium batteries and lithium batteries.
(15) Condensates derived from the overhead gases from kraft mill steam strippers that are
used to comply with 40 CFR 63.446(e). The exemption applies only to combustion at the mill
generating the condensates.
(16) Comparable fuels or comparable syngas fuels (i.e., comparable/syngas fuels) that meet the
requirements of 261.38.
(17) Spent materials (as defined in 261.1) (other than hazardous wastes listed in subpart D of
this part) generated within the primary mineral processing industry from which minerals,
acids, cyanide, water, or other values are recovered by mineral processing or by beneficiation,
provided that:
(i) The spent material is legitimately recycled to recover minerals, acids, cyanide, water or other
values;
(ii) The spent material is not accumulated speculatively;
27
(iii) Except as provided in paragraph (a)(17)(iv) of this section, the spent material is stored in tanks,
containers, or buildings meeting the following minimum integrity standards: a building must be an
engineered structure with a floor, walls, and a roof all of which are made of non-earthen materials
providing structural support (except smelter buildings may have partially earthen floors provided the
secondary material is stored on the non-earthen portion), and have a roof suitable for diverting
rainwater away from the foundation; a tank must be free standing, not be a surface impoundment (as
defined in 40 CFR 260.10), and be manufactured of a material suitable for containment of its
contents; a container must be free standing and be manufactured of a material suitable for
containment of its contents. If tanks or containers contain any particulate which may be subject to
wind dispersal, the owner/operator must operate these units in a manner which controls fugitive dust.
Tanks, containers, and buildings must be designed, constructed and operated to prevent significant
releases to the environment of these materials.
(iv) The Regional Administrator or State Director may make a site-specific determination, after
public review and comment, that only solid mineral processing spent material may be placed on pads
rather than tanks containers, or buildings. Solid mineral processing spent materials do not contain
any free liquid. The decision-maker must affirm that pads are designed, constructed and operated to
prevent significant releases of the secondary material into the environment. Pads must provide the
same degree of containment afforded by the non-RCRA tanks, containers and buildings eligible for
exclusion.
(A) The decision-maker must also consider if storage on pads poses the potential for significant
releases via groundwater, surface water, and air exposure pathways. Factors to be considered for
assessing the groundwater, surface water, air exposure pathways are: The volume and physical and
chemical properties of the secondary material, including its potential for migration off the pad; the
potential for human or environmental exposure to hazardous constituents migrating from the pad via
each exposure pathway, and the possibility and extent of harm to human and environmental
receptors via each exposure pathway.
(B) Pads must meet the following minimum standards: Be designed of non-earthen material that is
compatible with the chemical nature of the mineral processing spent material, capable of
withstanding physical stresses associated with placement and removal, have run on/runoff controls;
be operated in a manner which controls fugitive dust, and have integrity assurance through
inspections and maintenance programs.
(C) Before making a determination under this paragraph, the Regional Administrator or State
Director must provide notice and the opportunity for comment to all persons potentially interested in
the determination. This can be accomplished by placing notice of this action in major local
newspapers, or broadcasting notice over local radio stations.
(v) The owner or operator provides notice to the Regional Administrator or State Director providing
the following information: The types of materials to be recycled; the type and location of the storage
units and recycling processes; and the annual quantities expected to be placed in land-based units.
This notification must be updated when there is a change in the type of materials recycled or the
location of the recycling process.
28
(vi) For purposes of paragraph (a)(7) of this section, mineral processing spent materials must be the
result of mineral processing and may not include any listed hazardous wastes. Listed hazardous
wastes and characteristic hazardous wastes generated by non-mineral processing industries are not
eligible for the conditional exclusion from the definition of solid waste.
(18) Petrochemical recovered oil from an associated organic chemical manufacturing facility,
where the oil is to be inserted into the petroleum refining process (SIC code 2911) along with
normal petroleum refinery process streams, provided:
(i) The oil is hazardous only because it exhibits the characteristic of ignitability (as defined in
261.21) and/or toxicity for benzene (261.24, waste code D018); and
(ii) The oil generated by the organic chemical manufacturing facility is not placed on the land, or
speculatively accumulated before being recycled into the petroleum refining process. An
associated
organic chemical manufacturing facility is a facility where the primary SIC code is 2869, but where
operations may also include SIC codes 2821, 2822, and 2865; and is physically co-located with a
petroleum refinery; and where the petroleum refinery to which the oil being recycled is returned also
provides hydrocarbon feedstocks to the organic chemical manufacturing facility.
Petrochemical
recovered oil is oil that has been reclaimed from secondary materials (i.e., sludges, byproducts, or
spent materials, including wastewater) from normal organic chemical manufacturing operations, as
well as oil recovered from organic chemical manufacturing processes.
(19) Spent caustic solutions from petroleum refining liquid treating processes used as a
feedstock to produce cresylic or naphthenic acid unless the material is placed on the land, or
accumulated speculatively as defined in 261.1(c).
(20) Hazardous secondary materials used to make zinc fertilizers, provided that the following
conditions specified are satisfied:
(i) Hazardous secondary materials used to make zinc micronutrient fertilizers must not be
accumulated speculatively, as defined in 261.1 (c)(8).
(ii) Generators and intermediate handlers of zinc-bearing hazardous secondary materials that are to
be incorporated into zinc fertilizers must:
(A) Submit a one-time notice to the Regional Administrator or State Director in whose jurisdiction
the exclusion is being claimed, which contains the name, address and EPA ID number of the
generator or intermediate handler facility, provides a brief description of the secondary material that
will be subject to the exclusion, and identifies when the manufacturer intends to begin managing
excluded, zinc-bearing hazardous secondary materials under the conditions specified in this
paragraph (a)(20).
(B) Store the excluded secondary material in tanks, containers, or buildings that are constructed and
maintained in a way that prevents releases of the secondary materials into the environment. At a
minimum, any building used for this purpose must be an engineered structure made of non-earthen
materials that provide structural support, and must have a floor, walls and a roof that prevent wind
29
dispersal and contact with rainwater. Tanks used for this purpose must be structurally sound and, if
outdoors, must have roofs or covers that prevent contact with wind and rain. Containers used for this
purpose must be kept closed except when it is necessary to add or remove material, and must be in
sound condition. Containers that are stored outdoors must be managed within storage areas that:
(1) Have containment structures or systems sufficiently impervious to contain leaks, spills and
accumulated precipitation; and
(2) Provide for effective drainage and removal of leaks, spills and accumulated precipitation; and
(3) Prevent run-on into the containment system.
(C) With each off-site shipment of excluded hazardous secondary materials, provide written notice
to the receiving facility that the material is subject to the conditions of this paragraph (a)(20).
(D) Maintain at the generator's or intermediate handlers facility for no less than three years records
of all shipments of excluded hazardous secondary materials. For each shipment, these records must
at a minimum contain the following information:
(1) Name of the transporter and date of the shipment;
(2) Name and address of the facility that received the excluded material, and documentation
confirming receipt of the shipment; and
(3) Type and quantity of excluded secondary material in each shipment.
(iii) Manufacturers of zinc fertilizers or zinc fertilizer ingredients made from excluded hazardous
secondary materials must:
(A) Store excluded hazardous secondary materials in accordance with the storage requirements for
generators and intermediate handlers, as specified in paragraph (a)(20)(ii)(B) of this section.
(B) Submit a one-time notification to the Regional Administrator or State Director that, at a
minimum, specifies the name, address and EPA ID number of the manufacturing facility, and
identifies when the manufacturer intends to begin managing excluded, zinc-bearing hazardous
secondary materials under the conditions specified in this paragraph (a)(20).
(C) Maintain for a minimum of three years records of all shipments of excluded hazardous
secondary materials received by the manufacturer, which must at a minimum identify for each
shipment the name and address of the generating facility, name of transporter and date the materials
were received, the quantity received, and a brief description of the industrial process that generated
the material.
(D) Submit to the Regional Administrator or State Director an annual report that identifies the total
quantities of all excluded hazardous secondary materials that were used to manufacture zinc
30
fertilizers or zinc fertilizer ingredients in the previous year, the name and address of each generating
facility, and the industrial process(s) from which they were generated.
(iv) Nothing in this section preempts, overrides or otherwise negates the provision in 262.11 of this
chapter, which requires any person who generates a solid waste to determine if that waste is a
hazardous waste.
(v) Interim status and permitted storage units that have been used to store only zinc-bearing
hazardous wastes prior to the submission of the one-time notice described in paragraph (a)(20)(ii)(A)
of this section, and that afterward will be used only to store hazardous secondary materials excluded
under this paragraph, are not subject to the closure requirements of 40 CFR Parts 264 and 265.
(21) Zinc fertilizers made from hazardous wastes, or hazardous secondary materials that are
excluded under paragraph (a)(20) of this section, provided that:
(i) The fertilizers meet the following contaminant limits:
(A) For metal contaminants:
Constituent
Maximum Allowable Total Concentration in Fertilizer, per Unit (1%) of Zinc

(ppm)
Arsenic
0.3
Cadmium
1.4
Chromium
0.6
Lead
2.8
Mercury
0.3
(B) For dioxin contaminants the fertilizer must contain no more than eight (8) parts per trillion of
dioxin, measured as toxic equivalent (TEQ).
(ii) The manufacturer performs sampling and analysis of the fertilizer product to determine
compliance with the contaminant limits for metals no less than every six months, and for dioxins no
less than every twelve months. Testing must also be performed whenever changes occur to
manufacturing processes or ingredients that could significantly affect the amounts of contaminants in
the fertilizer product. The manufacturer may use any reliable analytical method to demonstrate that
no constituent of concern is present in the product at concentrations above the applicable limits. It is
the responsibility of the manufacturer to ensure that the sampling and analysis are unbiased, precise,
and representative of the product(s) introduced into commerce.
(iii) The manufacturer maintains for no less than three years records of all sampling and analyses
performed for purposes of determining compliance with the requirements of paragraph (a)(21)(ii) of
this section. Such records must at a minimum include:
31
(A) The dates and times product samples were taken, and the dates the samples were analyzed;
(B) The names and qualifications of the person(s) taking the samples;
(C) A description of the methods and equipment used to take the samples;
(D) The name and address of the laboratory facility at which analyses of the samples
were performed;
(E) A description of the analytical methods used, including any cleanup and sample preparation
methods; and
(F) All laboratory analytical results used to determine compliance with the contaminant limits
specified in this paragraph (a)(21).
(22) Used cathode ray tubes (CRTs)
(i) Used, intact CRTs as defined in 260.10 of this chapter are not solid wastes within the United
States unless they are disposed, or unless they are speculatively accumulated as defined in
261.1(c)(8) by CRT collectors or glass processors.
(ii) Used, intact CRTs as defined in 260.10 of this chapter are not solid wastes when exported for
recycling provided that they meet the requirements of 261.40.
(iii) Used, broken CRTs as defined in 260.10 of this chapter are not solid wastes provided that they
meet the requirements of 261.39.
(iv) Glass removed from CRTs is not a solid waste provided that it meets the requirements of
261.39(c).
32
Appendix B
Discussion of Containment From 2008 DSW Rule Preamble (73 FR 64680, October 30, 2008)
C. Restrictions and Requirements
Hazardous secondary materials must be contained.
The regulations at 40 CFR 261.2(a)(2)(ii) and 40 CFR 261.4(a)(23) apply to hazardous secondary
materials that are generated and legitimately reclaimed under the control of the generator in the
United States or its territories. Under these provisions, the hazardous secondary materials must be
contained, whether they are stored in land-based units or non-land-based units. Generally, such
material is contained if it is placed in a unit that controls the movement of the hazardous
secondary material out of the unit and into the environment. These restrictions support EPAs
determination that materials managed in this manner are not discarded.
In the event of a release from a unit to the environment, the hazardous secondary materials that
remain in the unit may or may not meet the terms of the exclusion. They would be considered solid
wastes if they are not managed as a valuable raw material, intermediate, or product, and as a result, a
significant release of hazardous secondary materials from the unit to the environment were to take
place and the materials were not immediately recovered. If such a significant release were to occur,
the hazardous secondary materials remaining in the unit would be considered solid and hazardous
wastes and the unit would be subject to the appropriate hazardous waste regulations. For example, an
acidic hazardous secondary material undergoing reclamation could be stored in a tank that
experienced a failure. A facility might fail to monitor the structural integrity of the tank, as most
product tanks are monitored, or the tank might not be constructed to contain acidic hazardous
secondary materials, causing a significant release of such materials into the environment that is not
immediately recovered. The unit itself would consequently be considered a hazardous waste
management unit because the hazardous secondary materials were not being managed as a valuable
raw material, intermediate, or product, as evidenced by the failure to monitor it for structural
integrity, resulting in the release. Thus, the unit and any remaining waste would be subject to
Subtitle C controls because the hazardous secondary materials in the unit have been discarded. In
addition, any of the released materials that were not immediately recovered would also be
considered discarded and, if hazardous, subject to appropriate federal or state regulations and
applicable authorities. Thus, to be excluded from the definition of solid waste, the facility has an
obligation to manage the material as it would any raw material, intermediate or product because of
its value. This includes, for example, operating and maintaining storage units in the same manner as
product units. In the above example, whether by mismanagement of the hazardous secondary
materials or by storing acidic materials in a tank not constructed to handle them or because of the
failure to monitor the structural integrity of the unit, the result is that the unit would come under
Subtitle C regulation.
Conversely, a tank or a surface impoundment in good condition may experience small releases
resulting from normal operations of the facility. Sometimes a material may escape from primary
containment and may be captured by secondary containment or some other mechanism that would
prevent the material from being released to the environment or would allow immediate recovery of
33
the material. In that case, the unit would retain its exclusion from RCRA hazardous waste regulation
and the hazardous secondary materials in the unit would still be excluded from the definition of solid
waste, even though any such materials that had been released would be considered discarded if not
immediately recovered and would be subject to appropriate regulation. One specific example of
contained hazardous secondary materials would be furnace bricks collected from production units
and stored on the ground in walled bins before being used as feedstocks in the metals production
process. If there were very small releases from the walled bins due to precipitation runoff, such
releases would not cause the storage bins to be subject to Subtitle C controls.
It should be noted that a
significant release is not necessarily large in volume. Such a release could
include an unaddressed small release to the environment from a unit that, if allowed to continue over
time, could cause significant damage. Any one release may not be significant in terms of volume.
However, if the cause of such a release remains unaddressed over time and hazardous secondary
materials are managed in such a way that the release is likely to continue, the materials in the unit
would not be contained. For example, a rusting tank or containers that are deteriorating may have a
slow leak that, if unaddressed, could, over time, cause a significant environmental impact. Similarly,
a surface impoundment with a slow, unaddressed leak to groundwater could result, over
time, in significant damage. Another example would be a large pile of lead contaminated finely
ground dust without any provisions to prevent wind dispersal of the dust. Such releases, if
unaddressed over time and likely to continue, would mean that the hazardous secondary materials
remaining in the unit were not being managed as a valuable raw material, intermediate, or product
and that the materials had been discarded. As a result, the hazardous secondary materials in the unit
would be hazardous wastes and these units would be subject to the RCRA hazardous
waste regulations.
34
Appendix C
Definitions at 260.10 for Purposes of October 30, 2008, DSW Rule
Facility means:
(1) All contiguous land, and structures, other appurtenances, and improvements on the land, used for
treating, storing, or disposing of hazardous waste, or for managing hazardous secondary materials
prior to reclamation. A facility may consist of several treatment, storage, or disposal operational
units (e.g., one or more landfills, surface impoundments, or combinations of them).
(2) For the purpose of implementing corrective action under 40 CFR 264.101 or 267.101, all
contiguous property under the control of the owner or operator seeking a permit under Subtitle C of
RCRA. This definition also applies to facilities implementing corrective action under RCRA
Section 3008(h).
(3) Notwithstanding paragraph (2) of this definition, a remediation waste management site is not a
facility that is subject to 40 CFR 264.101, but is subject to corrective action requirements if the site
is located within such a facility.
Hazardous secondary material means a secondary material (e.g., spent material, by-product, or
sludge) that, when discarded, would be identified as hazardous waste under part 261 of this chapter.
Hazardous secondary material generated and reclaimed under the control of the
generator means:
(1) That such material is generated and reclaimed at the generating facility (for purposes of this
definition, generating facility means all contiguous property owned, leased, or otherwise controlled
by the hazardous secondary material generator); or
(2) That such material is generated and reclaimed at different facilities, if the reclaiming facility is
controlled by the generator or if both the generating facility and the reclaiming facility are controlled
by a person as defined in 260.10, and if the generator provides one of the following certifications:
on behalf of [insert generator facility name], I certify that this facility will send the indicated
hazardous secondary material to [insert reclaimer facility name], which is controlled by [insert
generator facility name] and that [insert the name of either facility] has acknowledged full
responsibility for the safe management of the hazardous secondary material, or
on behalf of [insert
generator facility name] I certify that this facility will send the indicated hazardous secondary
material to [insert reclaimer facility name], that both facilities are under common control, and that
[insert name of either facility] has acknowledged full responsibility for the safe management of the
hazardous secondary material. For purposes of this paragraph,
control means the power to direct
the policies of the facility, whether by the ownership of stock, voting rights, or otherwise, except that
contractors who operate facilities on behalf of a different person as defined in 260.10 shall not be
deemed to
control such facilities, or
35
(3) That such material is generated pursuant to a written contract between a tolling contractor and a
toll manufacturer and is reclaimed by the tolling contractor, if the tolling contractor certifies the
following: O
n behalf of [insert tolling contractor name], I certify that [insert tolling contractor
name], has a written contract with [insert toll manufacturer name] to manufacture [insert name of
product or intermediate] which is made from specified unused materials, and that [insert tolling
contractor name] will reclaim the hazardous secondary materials generated during this manufacture.
On behalf of [insert tolling contractor name], I also certify that [insert tolling contractor name]
retains ownership of, and responsibility for, the hazardous secondary materials that are generated
during the course of the manufacture, including any releases of hazardous secondary materials that
occur during the manufacturing process. For purposes of this paragraph, tolling contractor means a
person who arranges for the production of a product or intermediate made from specified unused
materials through a written contract with a toll manufacturer. Toll manufacturer means a person who
produces a product or intermediate made from specified unused materials pursuant to a written
contract with a tolling contractor.
Hazardous secondary material generator means any person whose act or process produces
hazardous secondary materials at the generating facility. For purposes of this paragraph,
generating
facility means all contiguous property owned, leased, or otherwise controlled by the hazardous
secondary material generator. For the purposes of 261.2(a)(2)(ii) and 261.4(a)(23), a facility that
collects hazardous secondary materials from other persons is not the hazardous secondary
material generator.
Intermediate facility means any facility that stores hazardous secondary materials for more than 10
days, other than a hazardous secondary material generator or reclaimer of such material.
Land-based unit means an area where hazardous secondary materials are placed in or on the land
before recycling. This definition does not include land-based production units.
Transfer facility means any transportation-related facility, including loading docks, parking areas,
storage areas and other similar areas where shipments of hazardous waste or hazardous secondary
materials are held during the normal course of transportation.
36
Appendix D
Definition of Speculative Accumulation at 261.1(c)(8)
261.1(c)(8) reads:
A material is
accumulated speculatively if it is accumulated before being recycled. A material is
not accumulated speculatively, however, if the person accumulating it can show that the material is
potentially recyclable and has a feasible means of being recycled; and thatduring the calendar year
(commencing on January 1)the amount of material that is recycled, or transferred to a different
site for recycling, equals at least 75 percent by weight or volume of the amount of that material
accumulated at the beginning of the period. In calculating the percentage of turnover, the 75 percent
requirement is to be applied to each material of the same type (e.g., slags from a single smelting
process) that is recycled in the same way ( i.e., from which the same material is recovered or that is
used in the same way). Materials accumulating in units that would be exempt from regulation under
261.4(c) are not to be included in making the calculation. (Materials that are already defined as
solid wastes also are not to be included in making the calculation.) Materials are no longer in this
category once they are removed from accumulation for recycling, however.
37
Appendix E
Legitimate Recycling
In the EPA October 2008, final rule on the Revisions to the Definition of Solid Waste, EPA codified
legitimacy factors to be used in determining whether recycling under the provisions of the rule is
legitimate. EPA stated in the preamble to the October 2008, final rule that although the Agency was
only codifying the legitimacy provision as part of the new hazardous secondary materials recycling
exclusions and non-waste determination process, it was stressing that EPA retains its long-standing
policy that all recycling of hazardous secondary materials must be legitimate, and that the four
legitimacy factors codified at 40 CFR 260.43 are substantively the same as the Agencys longstanding legitimacy policy, as stated in the 1989 Lowrance Memo and in various definitions of solid
waste rulemakings.
Previous guidance documents on the EPA legitimacy policy include the 1989 OSWER Directive
9441.1989(19) (the
Lowrance Memo) and discussions in several Federal Register preambles. A
full complement of these discussions can be found in EPAs Definition of Solid Waste Compendium
Volume N (http://www.epa.gov/osw/hazard/dsw/compendium/n-legitrecy-v2.pdf). Further guidance
on legitimacy can also be found in the Compilations developed to assist with implementation of the
2008 DSW rule revisions. These can be found at:
http://www.epa.gov/epawaste/hazard/dsw/impresource.htm#materials.
Early Federal Register notices on the definition of solid waste topics discussed the importance of
distinguishing legitimate recycling from sham recycling situations. However, the most thorough and
frequently used guidance on this topic has been the
Lowrance Memo [OSWER Directive
9441.1989(19)]. The memo provides a series of six questions and sub-questions that are meant to be
balanced against each other and taken as a whole to determine legitimacy.
The Lowrance Memo Questions
(1) Is the secondary material similar to an analogous raw material or product?
Does it contain Appendix VIII constituents not found in the analogous raw material/product (or at
higher levels)?
Does it exhibit hazardous characteristics that the analogous raw material/product would not?
Does it contain levels of recoverable material similar to the analogous raw material/product?
Is much more of the secondary material used as compared with the analogous raw material/product it
replaces? Is only a nominal amount of it used?
Is the secondary material as effective as the raw material or product is replaces?
(2) What degree of processing is required to produce a finished product?
Can the secondary material be fed directly into the process (i.e., direct use) or is reclamation (or
pretreatment) required?
How much value does final reclamation add?
(3) What is the value of the secondary material?
Is it listed in industry newsletters, trade journals, etc.?
Does the secondary material have economic value comparable to the raw material that normally
enters the process?
38
(4) Is there a guaranteed market for the end product?

Is there a contract in place to purchase the "product" ostensibly produced from the hazardous
secondary materials?
If the type of recycling is reclamation, is the product used by the reclaimer? The generator? Is
there a batch tolling agreement? (Note that since reclaimers are normally TSDFs, assuming they
store before reclaiming, reclamation facilities present fewer possibilities of systemic abuse).
Is the reclaimed product a recognized commodity?
Are there industry-recognized quality specifications for the product?
(5) Is the secondary material handled in a manner consistent with the raw material/product
it replaces?
Is the secondary material stored on the land?
Is the secondary material stored in a similar manner as the analogous raw material (i.e., to
prevent loss?)
Are adequate records regarding the recycling transactions kept?
Do the companies involved have a history of mismanagement of hazardous wastes?
(6) Other relevant factors.
What are the economics of the recycling process?
Does most of the revenue come from charging generators for managing their wastes or from the sale
of the product?
Are the toxic constituents actually necessary (or of sufficient use) to the product or are they just
along for the ride.

The regulatory language from the 2008 revisions to the definition of solid waste follows. These
legitimacy regulations apply to materials regulated under the exclusions at 261.2(a)(2)(ii), and
261.4(a)(23), (24), or (25) as well as the non-waste determinations at 260.34.
260.43 Legitimate recycling of hazardous secondary materials regulated under 260.34,
261.2(a)(2)(ii), and 261.4(a)(23), (24), or (25).
(a) Persons regulated under 260.34 or claiming to be excluded from hazardous waste regulation
under 261.2(a)(2)(ii), 261.4(a)(23), (24), or (25) because they are engaged in reclamation must be
able to demonstrate that the recycling is legitimate. Hazardous secondary material that is not
legitimately recycled is discarded material and is a solid waste. In determining if their recycling is
legitimate, persons must address the requirements of 260.43(b) and must consider the requirements
of 260.43(c) below.
(b) Legitimate recycling must involve a hazardous secondary material that provides a useful
contribution to the recycling process or to a product or intermediate of the recycling process,
and the recycling process must produce a valuable product or intermediate.
(1) The hazardous secondary material provides a useful contribution if it
(i) Contributes valuable ingredients to a product or intermediate; or
(ii) Replaces a catalyst or carrier in the recycling process; or
39
(iii) Is the source of a valuable constituent recovered in the recycling process; or

(iv) Is recovered or regenerated by the recycling process; or
(v) Is used as an effective substitute for a commercial product.
(2) The product or intermediate is valuable if it is
(i) Sold to a third party; or
(ii) Used by the recycler or the generator as an effective substitute for a commercial product or as an
ingredient or intermediate in an industrial process.
(c) The following factors must be considered in making a determination as to the overall
legitimacy of a specific recycling activity.
(1) The generator and the recycler should manage the hazardous secondary material as a valuable
commodity. Where there is an analogous raw material, the hazardous secondary material should be
managed, at a minimum, in a manner consistent with the management of the raw material. Where
there is no analogous raw material, the hazardous secondary material should be contained.
Hazardous secondary materials that are released to the environment and are not recovered
immediately are discarded.
(2) The product of the recycling process does not
(i) Contain significant concentrations of any hazardous constituents found in Appendix VIII of part
261 that are not found in analogous products; or
(ii) Contain concentrations of any hazardous constituents found in Appendix VIII of part 261 at
levels that are significantly elevated from those found in analogous products; or
(iii) Exhibit a hazardous characteristic (as defined in part 261 subpart C) that analogous products do
not exhibit.
(3) In making a determination that a hazardous secondary material is legitimately recycled,
persons must evaluate all factors and consider legitimacy as a whole. If, after careful
evaluation of these other considerations, one or both of the factors are not met, then this fact
may be an indication that the material is not legitimately recycled.
However, the factors in this paragraph do not have to be met for the recycling to be considered
legitimate. In evaluating the extent to which these factors are met and in determining whether a
process that does not meet one or both of these factors is still legitimate, persons can consider the
protectiveness of the storage methods, exposure from toxics in the product, the bioavailability of the
toxics in the product, and other relevant considerations.
40
Appendix F
Use/Reuse at 261.2(e)(1)
261.2(e) Materials that are not solid waste when recycled.
(1) Materials are not solid wastes when they can be shown to be recycled by being:
(i) Used or reused as ingredients in an industrial process to make a product, provided the materials
are not being reclaimed; or
(ii) Used or reused as effective substitutes for commercial products; or
(iii) Returned to the original process from which they are generated, without first being reclaimed
or land disposed. The material must be returned as a feedstock for feedstock materials. In cases
where the original process to which the material is returned is a secondary process, the materials
must be managed such that there is no placement on the land. In cases where the materials are
generated and reclaimed within the primary mineral processing industry, the conditions of the
exclusion found at 261.4 (a)(17) apply rather than this paragraph.
41
Appendix G
Notification Requirements at 260.42
260.42 Notification requirement for hazardous secondary materials.
(a) Hazardous secondary material generators, tolling contractors, toll manufacturers,
reclaimers, and intermediate facilities managing hazardous secondary materials which are
excluded from regulation under 261.2(a)(2)(ii), 261.4(a)(23), (24), or (25) must send a
notification prior to operating under the exclusion(s) and by March 1 of each even numbered
year thereafter to the Regional Administrator using EPA Form 870012 that includes the
following information:
(1) The name, address, and EPA ID number (if applicable) of the facility;
(2) The name and telephone number of a contact person;
(3) The NAICS code of the facility;
(4) The exclusion under which the hazardous secondary materials will be managed (e.g.,
261.2(a)(2)(ii), 261.4(a)(23), (24), and/or (25));
(5) For reclaimers and intermediate facilities managing hazardous secondary materials in accordance
with 261.4(a)(24) or (25), whether the reclaimer or intermediate facility has financial assurance
(not applicable for persons managing hazardous secondary materials generated and reclaimed under
the control of the generator);
(6) When the facility expects to begin managing the hazardous secondary materials in accordance
with the exclusion;
(7) A list of hazardous secondary materials that will be managed according to the exclusion
(reported as the EPA hazardous waste numbers that would apply if the hazardous secondary
materials were managed as hazardous wastes);
(8) For each hazardous secondary material, whether the hazardous secondary material, or any
portion thereof, will be managed in a land-based unit;
(9) The quantity of each hazardous secondary material to be managed annually; and
(10) The certification (included in EPA Form 870012) signed and dated by an authorized
representative of the facility.
(b) If a hazardous secondary material generator, tolling contractor, toll manufacturer,
reclaimer or intermediate facility has submitted a notification, but then subsequently stops
managing hazardous secondary materials in accordance with the exclusion(s), the facility must
notify the Regional Administrator within thirty (30) days using EPA Form 870012. For
42
purposes of this section, a facility has stopped managing hazardous secondary materials if the
facility no longer generates, manages and/or reclaims hazardous secondary materials under
the exclusion(s) and does not expect to manage any amount of hazardous secondary materials
for at least one year.
43
Appendix H
Reasonable Efforts Condition at 261.4(a)(24)(v)(B)
(B) Prior to arranging for transport of hazardous secondary materials to a reclamation facility (or
facilities) where the management of the hazardous secondary materials is not addressed under a
RCRA Part B permit or interim status standards, the hazardous secondary material generator must
make reasonable efforts to ensure that each reclaimer intends to properly and legitimately reclaim
the hazardous secondary material and not discard it, and that each reclaimer will manage the
hazardous secondary material in a manner that is protective of human health and the environment.
If the hazardous secondary material will be passing through an intermediate facility where the
management of the hazardous secondary materials is not addressed under a RCRA Part B permit or
interim status standards, the hazardous secondary material generator must make contractual
arrangements with the intermediate facility to ensure that the hazardous secondary material is sent to
the reclamation facility identified by the hazardous secondary material generator, and the hazardous
secondary material generator must perform reasonable efforts to ensure that the intermediate facility
will manage the hazardous secondary material in a manner that is protective of human health and the
environment.
Reasonable efforts must be repeated at a minimum of every three years for the hazardous
secondary material generator claim the exclusion and to send the hazardous secondary materials to
each reclaimer and any intermediate facility.
In making these reasonable efforts, the generator may use any credible evidence available, including
information gathered by the hazardous secondary material generator, provided by the reclaimer or
intermediate facility, and/or provided by a third party.
The hazardous secondary material generator must affirmatively answer all of the following
questions for each reclamation facility and any intermediate facility:
(1) Does the available information indicate that the reclamation process is legitimate pursuant to
260.43?
In answering this question, the hazardous secondary material generator can rely on their existing
knowledge of the physical and chemical properties of the hazardous secondary material, as well as
information from other sources (e.g., the reclamation facility, audit reports, etc.) about the
reclamation process. (By responding to this question, the hazardous secondary material generator has
also satisfied its requirement in 260.43(a) to be able to demonstrate that the recycling is legitimate).
(2) Does the publicly available information indicate that the reclamation facility and any
intermediate facility that is used by the hazardous secondary material generator notified the
appropriate authorities of hazardous secondary materials reclamation activities pursuant to 260.42
and have they notified the appropriate authorities that the financial assurance condition is satisfied
per 261.4(a)(24)(vi)(F)?
44
In answering these questions, the hazardous secondary material generator can rely on the available
information documenting the reclamation facilitys and any intermediate facilitys compliance with
the notification requirements per 260.42, including the requirement in 260.42(a)(5) to notify EPA
whether the reclaimer or intermediate facility has financial assurance.
(3) Does publicly available information indicate that the reclamation facility or any intermediate
facility that is used by the hazardous secondary material generator has not had any formal
enforcement actions taken against the facility in the previous three years for violations of the RCRA
hazardous waste regulations and has not been classified as a significant non-complier with RCRA
Subtitle C?
In answering this question, the hazardous secondary material generator can rely on the publicly
available information from EPA or the state.
If the reclamation facility or any intermediate facility that is used by the hazardous secondary
material generator has had a formal enforcement action taken against the facility in the previous
three years for violations of the RCRA hazardous waste regulations and has been classified as a
significant non-complier with RCRA Subtitle C, does the hazardous secondary material generator
have credible evidence that the facilities will manage the hazardous secondary materials properly?
In answering this question, the hazardous secondary material generator can obtain additional
information from EPA, the state, or the facility itself that the facility has addressed the violations,
taken remedial steps to address the violations and prevent future violations, or that the violations are
not relevant to the proper management of the hazardous secondary materials.
(4) Does the available information indicate that the reclamation facility and any intermediate facility
that is used by the hazardous secondary material generator have the equipment and trained personnel
to safely recycle the hazardous secondary material?
In answering this question, the generator may rely on a description by the reclamation facility or by
an independent third party of the equipment and trained personnel to be used to recycle the
generators hazardous secondary material.
(5) If residuals are generated from the reclamation of the excluded hazardous secondary materials,
does the reclamation facility have the permits required (if any) to manage the residuals? If not, does
the reclamation facility have a contract with an appropriately permitted facility to dispose of the
residuals? If not, does the hazardous secondary material generator have credible evidence that the
residuals will be managed in a manner that is protective of human health and the environment? In
answering these questions, the hazardous secondary material generator can rely on publicly available
information from EPA or the state, or information provided by the facility itself.
45
Appendix I
Certification Statement at 261.4(a)(24)(v)(C)
The certification statement must:
(1) Include the printed name and official title of an authorized representative of the hazardous
secondary material generator company, the authorized representative's signature, and the
date signed;
I hereby certify in good faith and to the best of my
(2) Incorporate the following language:
knowledge that, prior to arranging for transport of excluded hazardous secondary materials to [insert
name(s) of reclamation facility and any intermediate facility], reasonable efforts were made in
accordance with 261.4(a)(24)(v)(B) to ensure that the hazardous secondary materials would be
recycled legitimately, and otherwise managed in a manner that is protective of human health and the
environment, and that such efforts were based on current and accurate information.
46
Appendix J
Exports of HSM at 261.4(a)(25)
(25) Hazardous secondary material that is exported from the United States and reclaimed at a
reclamation facility located in a foreign country is not a solid waste, provided that the
hazardous secondary material generator complies with the applicable requirements of
paragraph (a)(24)(i)(v) of this section (excepting paragraph (a)(v)(B)( 2 ) of this section for
foreign reclaimers and foreign intermediate facilities), and that the hazardous secondary
material generator also complies with the following requirements:
(i) Notify EPA of an intended export before the hazardous secondary material is scheduled to leave
the United States. A complete notification must be submitted at least sixty (60) days before the
initial shipment is intended to be shipped off-site. This notification may cover export activities
extending over a twelve (12) month or lesser period. The notification must be in writing, signed by
the hazardous secondary material generator, and include the following information:
(A) Name, mailing address, telephone number and EPA ID number (if applicable) of the hazardous
secondary material generator;
(B) A description of the hazardous secondary material and the EPA hazardous waste number that
would apply if the hazardous secondary material was managed as hazardous waste and the U.S.
DOT proper shipping name, hazard class and ID number (UN/NA) for each hazardous secondary
material as identified in 49 CFR parts 171 through 177;
(C) The estimated frequency or rate at which the hazardous secondary material is to be exported and
the period of time over which the hazardous secondary material is to be exported;
(D) The estimated total quantity of hazardous secondary material;
(E) All points of entry to and departure from each foreign country through which the hazardous
secondary material will pass;
(F) A description of the means by which each shipment of the hazardous secondary material will be
transported (e.g., mode of transportation vehicle (air, highway, rail, water, etc.), type(s) of container
(drums, boxes, tanks, etc.));
(G) A description of the manner in which the hazardous secondary material will be reclaimed in the
receiving country;
(H) The name and address of the reclaimer, any intermediate facility and any alternate reclaimer and
intermediate facilities; and
(I) The name of any transit countries through which the hazardous secondary material will be sent
and a description of the approximate length of time it will remain in such countries and the nature of
its handling while there (for purposes of this section, the terms
Acknowledgement of Consent,
47

receiving country and
transit country are used as defined in 40 CFR 262.51 with the exception
that the terms in this section refer to hazardous secondary materials, rather than hazardous waste):
(ii) Notifications submitted by mail should be sent to the following mailing address: Office of
Enforcement and Compliance Assurance, Office of Federal Activities, International Compliance
Assurance Division, (Mail Code 2254A), Environmental Protection Agency, 1200 Pennsylvania
Ave., NW., Washington, DC 20460. Hand-delivered notifications should be delivered to: Office of
Enforcement and Compliance Assurance, Office of Federal Activities, International Compliance
Assurance Division, Environmental Protection Agency, Ariel Rios Bldg., Room 6144, 12th St. and
Pennsylvania Ave., NW., Washington, DC 20004. In both cases, the following shall be prominently
displayed on the front of the envelope:
Attention: Notification of Intent to Export.
(iii) Except for changes to the telephone number in paragraph (a)(25)(i)(A) of this section and
decreases in the quantity of hazardous secondary material indicated pursuant to paragraph
(a)(25)(i)(D) of this section, when the conditions specified on the original notification change
(including any exceedance of the estimate of the quantity of hazardous secondary material
specified in the original notification), the hazardous secondary material generator must
provide EPA with a written renotification of the change. The shipment cannot take place until
consent of the receiving country to the changes (except for changes to paragraph (a)(25)(i)(I) of this
section and in the ports of entry to and departure from transit countries pursuant to paragraphs
(a)(25)(i)(E) of this section) has been obtained and the hazardous secondary material generator
receives from EPA an Acknowledgment of Consent reflecting the receiving country's consent to
the changes.
(iv) Upon request by EPA, the hazardous secondary material generator shall furnish to EPA
any additional information which a receiving country requests in order to respond to
a notification.
(v) EPA will provide a complete notification to the receiving country and any transit countries.
A notification is complete when EPA receives a notification which EPA determines satisfies the
requirements of paragraph (a)(25)(i) of this section. Where a claim of confidentiality is asserted with
respect to any notification information required by paragraph (a)(25)(i) of this section, EPA may
find the notification not complete until any such claim is resolved in accordance with 40 CFR 260.2.
(vi) The export of hazardous secondary material under this paragraph (a)(25) is prohibited
unless the receiving country consents to the intended export. When the receiving country
consents in writing to the receipt of the hazardous secondary material, EPA will send an
Acknowledgment of Consent to the hazardous secondary material generator. Where the receiving
country objects to receipt of the hazardous secondary material or withdraws a prior consent, EPA
will notify the hazardous secondary material generator in writing. EPA will also notify the hazardous
secondary material generator of any responses from transit countries.
(vii) For exports to OECD Member countries, the receiving country may respond to the
notification using tacit consent. If no objection has been lodged by any receiving country or transit
countries to a notification provided pursuant to paragraph (a)(25)(i) of this section within thirty (30)
days after the date of issuance of the acknowledgement of receipt of notification by the competent
48
authority of the receiving country, the transboundary movement may commence. In such cases, EPA
will send an Acknowledgment of Consent to inform the hazardous secondary material generator that
the receiving country and any relevant transit countries have not objected to the shipment, and are
thus presumed to have consented tacitly. Tacit consent expires one (1) calendar year after the close
of the thirty (30) day period; renotification and renewal of all consents is required for exports after
that date.
(viii) A copy of the Acknowledgment of Consent must accompany the shipment. The shipment
must conform to the terms of the Acknowledgment of Consent.
(ix) If a shipment cannot be delivered for any reason to the reclaimer, intermediate facility or
the alternate reclaimer or alternate intermediate facility, the hazardous secondary material
generator must re-notify EPA of a change in the conditions of the original notification to allow
shipment to a new reclaimer in accordance with paragraph (iii) of this section and obtain
another Acknowledgment of Consent.
(x) Hazardous secondary material generators must keep a copy of each notification of intent to
export and each Acknowledgment of Consent for a period of three years following receipt of
the Acknowledgment of Consent.
(xi) Hazardous secondary material generators must file with the Administrator no later than
March 1 of each year, a report summarizing the types, quantities, frequency and ultimate
destination of all hazardous secondary materials exported during the previous calendar year.
Annual reports submitted by mail should be sent to the following address: Office of Enforcement
and Compliance Assurance, Office of Federal Activities, International Compliance Assurance
Division (Mail Code 2254A), Environmental Protection Agency, 1200 Pennsylvania Ave., NW.,
Washington, DC 20460. Hand-delivered reports should be delivered to: Office of Enforcement and
Compliance Assurance, Office of Federal Activities, International Compliance Assurance Division,
Environmental Protection Agency, Ariel Rios Bldg., Room 6144, 12th St. and Pennsylvania Ave.,
NW., Washington, DC 20004. Such reports must include the following information:
(A) Name, mailing and site address, and EPA ID number (if applicable) of the hazardous secondary
material generator;
(B) The calendar year covered by the report;
(C) The name and site address of each reclaimer and intermediate facility;
(D) By reclaimer and intermediate facility, for each hazardous secondary material exported, a
description of the hazardous secondary material and the EPA hazardous waste number that would
apply if the hazardous secondary material was managed as hazardous waste, DOT hazard class, the
name and U.S. EPA ID number (where applicable) for each transporter used, the total amount of
hazardous secondary material shipped and the number of shipments pursuant to each notification;
(E) A certification signed by the hazardous secondary material generator which states:
I certify
under penalty of law that I have personally examined and am familiar with the information
49
submitted in this and all attached documents, and that based on my inquiry of those individuals
immediately responsible for obtaining the information, I believe that the submitted information is
true, accurate, and complete. I am aware that there are significant penalties for submitting false
information including the possibility of fine and imprisonment.
(xii) All persons claiming an exclusion under this paragraph (a)(25) must provide notification
as required by 260.42 of this chapter.
50

HSM Inspector Checklist

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HSM Inspector Checklist

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Inspection Checklist Tool for Facilities Generating and Recycling

Hazardous Secondary Materials (HSM)

reclamation). However, even if the material is determined to be a hazardous secondary material

1985 DSW Rule.

To find this information:

Characteristic Sludges and/or Byproducts being Recycled (261.2(c)(3))

Section 1: Facility Information

NAICS Code(s) _________________________________________________________

Time: From ______ To ______

Telephone No. __________________

Other People Present (Name, Title, Organization)

Section 2: Overview of Manufacturing Process and HSM Characterization

3. Are the hazardous secondary materials being generated and subsequently

Go to Question 4 and proceed with this checklist.

To the best of your knowledge, is the generators characterization of its

STOP. These checklists are not applicable. Review the description of

This checklist is applicable for these materials. When you

1Off-site facility under the control of the generator

Section 3b. Identification and Quantification of HSMs being Consolidated and/or

Listed Byproducts or Sludges

Quantity Consolidated and/or

Section 4: Definition of Solid Waste Checklists 18

Is the recycling/reclamation of the commercial chemical products legitimate? See Appendix E.

Are any residuals generated from the recycling process?

Note: These materials are not solid waste when recycled.

261.2(c)(1) Are these materials used in a manner constituting disposal?

(Transfer-based ExclusionGenerator Conditions)

(Transfer-based ExclusionGenerator Conditions)

(Transfer-based ExclusionGenerator Conditions)

(Transfer-based ExclusionReclaimer/Intermediate Conditions)

(Transfer-based ExclusionReclaimer/Intermediate Conditions)

(Transfer-based ExclusionReclaimer/Intermediate Conditions)

Maximum Allowable Total Concentration in Fertilizer, per Unit (1%) of Zinc

(4) Is there a guaranteed market for the end product?

along for the ride.

(iii) Is the source of a valuable constituent recovered in the recycling process; or

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